0001209191-23-036480.txt : 20230612 0001209191-23-036480.hdr.sgml : 20230612 20230612190025 ACCESSION NUMBER: 0001209191-23-036480 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230609 FILED AS OF DATE: 20230612 DATE AS OF CHANGE: 20230612 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schultz Erica CENTRAL INDEX KEY: 0001542687 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40526 FILM NUMBER: 231009782 MAIL ADDRESS: STREET 1: C/O NEW RELIC, INC. STREET 2: 188 SPEAR STREET, STE. 1200 CITY: SAN FRANCISCO STATE: CA ZIP: 94105 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Confluent, Inc. CENTRAL INDEX KEY: 0001699838 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 471824387 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 899 W. EVELYN AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94041 BUSINESS PHONE: 800-439-3207 MAIL ADDRESS: STREET 1: 899 W. EVELYN AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94041 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-06-09 0 0001699838 Confluent, Inc. CFLT 0001542687 Schultz Erica C/O CONFLUENT, INC. 899 W. EVELYN AVENUE MOUNTAIN VIEW CA 94041 0 1 0 0 President, Field Operations 1 Class A Common Stock 2023-06-09 4 C 0 50000 A 529537 D Class A Common Stock 2023-06-09 4 S 0 50000 36.17 D 479537 D Class A Common Stock 40487 I See footnote Class A Common Stock 11500 I See footnote Class A Common Stock 55422 I See footnote Class A Common Stock 79091 I See footnote Class A Common Stock 13500 I See footnote Class A Common Stock 200000 I See footnote Stock Option (Right to Buy) 3.41 2023-06-09 4 M 0 50000 0.00 D 2029-12-04 Class B Common Stock 50000 2179675 D Class B Common Stock 2023-06-09 4 M 0 50000 0.00 A Class A Common Stock 50000 50000 D Class B Common Stock 2023-06-09 4 C 0 50000 0.00 D Class A Common Stock 50000 0 D Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock upon the sale or transfer of such share of Class B Common Stock, subject to certain exceptions, and in certain other circumstances described in the Issuer's amended and restated certificate of incorporation. Each share of Class B Common Stock will also be convertible at any time at the option of the Reporting Person into one share of Class A Common Stock. Shares sold pursuant to a 10b5-1 trading plan. The shares were sold at prices ranging from $36.00 to $36.48. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. The shares are held by The Schultz Family Irrevocable Remainder Trust. The shares are held by The Bryan and Erica Schultz Family Revocable Trust. The shares are held by the Erica Schultz 2022 Annuity Trust. The shares are held by the Erica Schultz 2023 Annuity Trust. The shares are held by The Ruliffson Schultz Extended Family Trust. The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust. The shares subject to the option are immediately exercisable. 25% of the shares vested on 10/28/2020 and the remainder vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date. /s/ Melanie Vinson, Attorney-in-fact 2023-06-12